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Investigations › Financial Conduct Authority (FCA) › Compliance

Cadwalader, Wickersham & Taft LLP

Regulation in Flux, March 2025 - UK Financial Conduct Authority Abandons “Name and Shame” Proposals

Cadwalader, Wickersham & Taft LLP on

The UK Financial Conduct Authority is no longer pursuing its high-profile proposal to announce the start of enforcement investigations into regulated firms. However, we may see a more robust interpretation of existing rules...more

Ankura

Non-Financial Misconduct: Will The Crispin Odey Case Reshape Investigations Into Behavioral Misconduct for the Financial Services...

Ankura on

It has been a summer of revelations leaving the financial services sector facing uncertainty and increased scrutiny on how allegations of behavioral misconduct might be managed going forward. This came after multiple...more

BCLP

FCA publishes its 2022/23 Annual Report and Enforcement data

BCLP on

The FCA released its 2022/23 Annual Report last week together with data on its key enforcement trends. We consider below some of the key takeaways....more

American Conference Institute (ACI)

How to Handle a Cross-Border Anticorruption Investigation

American Conference Institute (ACI) on

Juggling conversations with multiple enforcement agencies simultaneously in the course of a cross-border anticorruption investigation can be a difficult and daunting task for legal and compliance teams. Getting it right can...more

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